Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Upcoming Webinars

There are no scheduled calls at this time.

These events are open to all FINRA member firms. Participants must provide their firm's broker-dealer number when registering.

The webinar will include a Q & A portion. You can submit your questions in advance through the registration process or live through the webinar platform. Questions submitted in advance will take precedence.

Questions

Please direct registration questions to (800) 321-6273 or via email.

On-Demand Recordings

Recordings of prior events listed below are made available to FINRA member firms and CRCP graduates.

• Succession Planning - September 16, 2024
• The Intersection of Fraud and Cybersecurity – June 3, 2024
• Regulatory Notice 24-02: Residential Supervisory Location and Remote Inspections Pilot Program – February 12, 2024